Tony L. Fessler
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Tony Lee Fessler was a registered financial advisor .
Tony is a previously registered financial advisor and started their career in finance in 1992. Tony had worked at 4 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 14, 2004 - July 13, 2010
WRP INVESTMENTS, INC.
June 1, 2004 - July 13, 2010
WRP INVESTMENTS, INC.
February 26, 2004 - June 11, 2004
WS GRIFFITH SECURITIES, INC.
February 25, 2004 - June 11, 2004
WS GRIFFITH SECURITIES, INC.
February 13, 2003 - January 28, 2004
EQUITABLE ADVISORS, LLC
January 24, 2003 - January 28, 2004
EQUITABLE ADVISORS, LLC
January 7, 1992 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
January 7, 1992 - June 3, 2002
EQUITABLE ADVISORS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
WRP INVESTMENTS, INC.
CRD#: 7365 / SEC#: 801-39365, 8-21374
Contact information
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
| Bond | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
